Churning | New York Criminal & Securities Attorney

Joseph Desapio Suspended by FINRA from Securities Industry for Violating Reg BI

Joseph Desapio Suspended by FINRA from Securities Industry for Violating Reg BI

By Kevin J. Deloatch, Esq.|2024-03-11T16:50:34-05:00March 11th, 2024|Tags: AWC, best interest, churning, customer complaint, damages, fiduciary duty, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 2111, Have you lost money, investigation, Joseph Desapio, Legend Securities, negligence, Quantitatively unsuitable, recover lost funds, Reg BI, Regulation BI, sales practice violation, securities industry, securities law practice, Spartan Capital Securities, standards of commercial honor, suitability, suspended, suspension, unsuitable recommendations, Worden Capital Management|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Joseph Desapio (CRD # 5837553) was recently suspended from the securities industry [...]

0

Arthur McQuaide Suspended from Securities Industry by FINRA for Churning

Arthur McQuaide Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2023-12-08T15:07:29-05:00December 8th, 2023|Tags: account, arbitration, Arthur McQuaide, AWC, Caldwell International Securities, churning, complaint, customer, De facto control, Department of Enforcement, excessive trading, excessively trading, FINRA, FINRA Rule 201, FINRA Rule 2111, fraud, Have you lost money, high frequency, Inc., Letter of Acceptance Waiver and Consent, misrepresentation, N.C., Quantitatively unsuitable, securities industry, securities law, Southeast Investments, Spartan Capital Securities, suspended, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Arthur Mcquaide (CRD # 4581876) was recently suspended from the securities industry [...]

0

Christopher Booth Kennedy Barred from Securities Industry by FINRA for Churning

Christopher Booth Kennedy Barred from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2024-01-02T18:29:55-05:00December 2nd, 2023|Tags: advisor, arbitration, barred, Booth Kennedy, broker, Christopher Booth Kennedy, Christopher Kennedy, churning, complaint, customer, customer account, Department of Enforcement, excessive trading, FINRA, FINRA Rule 2010, FINRA Rule 8210, fraud, investigation, Order, sales practice, securities industry, securities practice, Spartan Capital Securities, violation, Western International Securities|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Christopher Booth Kennedy (CRD # 4498061) was recently barred from the securities [...]

0

Raymond William Clark Barred from Securities Industry by FINRA After Investigation

Raymond William Clark Barred from Securities Industry by FINRA After Investigation

By Kevin J. Deloatch, Esq.|2023-08-19T07:57:03-05:00August 19th, 2023|Tags: Alexander Capital, arbitration, AWC, barr, barred, breach of fiduciary duty, churning, customer complaint, damages, excessive trading, FINRA, FINRA Letter of Acceptance Waiver and Consent, FINRA Rule 2010, FINRA Rule 8210, fraud, Garden State Securities, Grayson Financial LLC, Have you lost money, investigation, investments, J.P. Turner, misrepresntation, Monmouth Capital Management LLC, negligence, Raymond William Clark, sales practice violation, securities industry, unauthorized trading, unsuitable securities, written complaint|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA), indicate that broker/advisor, Raymond William Clark (CRD # 2865619) was recently barred from the securities [...]

0

Douglas Blake Solinsky Suspended by FINRA from Securities Industry for Excessive Unsuitable Trading

Douglas Blake Solinsky Suspended by FINRA from Securities Industry for Excessive Unsuitable Trading

By Kevin J. Deloatch, Esq.|2023-07-02T08:52:44-05:00July 2nd, 2023|Tags: allegation, arbitration, AWC, Benchmark Investments, Blake, brokerage account, Cape Securities Inc., churning, commissions, customer complaint, damages, Department of Enforcement, Douglas, Douglas Blake Solinsky, excessive, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Have you lost money, investigation, investments, Kingswood Capital Partners, law practice, Letter of Acceptance Waiver and Consent, losses, lost money, negligent, Newbridge Securities Corporation, recommendation, recover lost funds, restitution, sales practice violations, securities industry, Solinsky, suitability, suspended, trading, unsuitable, wall street|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Douglas Blake Solinsky (CRD # 4715268) was recently suspended from the securities [...]

0

Edward Scott Short Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

Edward Scott Short Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

By Kevin J. Deloatch, Esq.|2023-04-17T11:47:15-05:00April 17th, 2023|Tags: arbitration, AWC, best interest, churning, customer accounts, customer complaint, damages, Edward Scott Short, Ehrenkrantz King Nussbaum, EKN Financial Services, excessive, FINRA, FINRA Department of Enforcement, FINRA Rule 2010, FINRA Rule 2111, fraud, Laidlaw & Company, Letter of Acceptance Waiver and Consent, Reg BI, Rule 15I-1, securities industry, settled, suspended, Tasin & Company, trading, unsuitable, Weatherly Securities Corporation|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Edward Scott Short (CRD # 2462752) was recently suspended from the securities [...]

0

Lon Charles Faccini Suspended from Securities Industry by FINRA for Churning

Lon Charles Faccini Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2023-04-16T12:04:58-05:00April 16th, 2023|Tags: arbitration, Arrive Capital Markets, award, AWC, breach of fiduciary duty, Cape Securities, churning, customer complaint, Department of Enforcement, excessive, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Letter of Acceptance Waiver and Consent, Liberty Partners Financial Services, Lon Charles Faccini, misrepresentation, negligent, securities industry, settled, suspended, trading, unsuitability, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Lon Charles Faccini, Jr. (a/k/a Lon Charles Faccini) (CRD # 2736849) was [...]

0

Leonid Yurovsky Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

Leonid Yurovsky Suspended from Securities Industry by FINRA for Excessive and Unsuitable Trading

By Kevin J. Deloatch, Esq.|2022-12-28T11:56:55-05:00December 27th, 2022|Tags: arbitration, AWC, churning, commissions, customer account, customer complaint, Department of Enforcement, excessive, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investor, Joseph Stone Capital, Law Office, Leonid Yurovsky, lost money, misrepresentation, National Securities Corporation, PHX Financials, recommended, sales practice violation, securities industry, securities law, settled, suspended, trading, transactions, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Leonid Yurovsky (CRD # 4554905) was recently suspended from the securities industry [...]

0

Mirsad Muharemovic Suspended from Securities Industry by FINRA for Excessive Trading

Mirsad Muharemovic Suspended from Securities Industry by FINRA for Excessive Trading

By Kevin J. Deloatch, Esq.|2022-12-12T12:35:01-05:00December 12th, 2022|Tags: advisor, arbitration, Arrive Capital Markets, award, AWC, breach of fiduciary duty, broker, Cape Securities, Cape Securities Inc., churning, commission, commissions, Coram, customer complaint, damages, Department of Enforcement, excessive trading, failure to diversify, fine, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, Law Office, margin, material facts, Mirsad Muharemovic, misrepresentation, negligence, recommendation, recommended, sales practice violation, Seaboard Securities, securities industry, securities law, securities law practice, settled, suspended, suspension, Turner & Company, unsuitable|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that broker/advisor, Mirsad Muharemovic (CRD # 3122589) was recently suspended from the securities industry [...]

0

Jesus Manuel Bravo (a/k/a Jesse Bravo) Suspended from Securities Industry by FINRA for Churning

Jesus Manuel Bravo (a/k/a Jesse Bravo) Suspended from Securities Industry by FINRA for Churning

By Kevin J. Deloatch, Esq.|2022-11-25T11:17:35-05:00November 25th, 2022|Tags: advisor, arbitration, AWC, broker, CBC Securities, churning, customer account, customer complaint, Department of Enforcement, DMK Advisor Group, excessive, FINRA, FINRA Rule 2010, FINRA Rule 2111, fraud, investigation, Jesse Bravo, Jesus Bravo, Jesus Manuel Bravo, Joseph Stone Capital, Law Office, Manuel, restitution, securities, securities industry, securities law, Solomon Whitney LLC, suspended, suspension, unsuitability, unsuitable, Unsuitably|

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) indicate that Jesus Manuel Bravo (a/k/a Jesse Bravo) (CRD # 2838164) was recently suspended from [...]

0